January 8, 2020
OCIE Releases 2020 Examination Priorities
On Jan. 7, 2020, the Office of Compliance Inspections and Examinations of the Securities and Exchange Commission (OCIE) released its 2020 Examination Priorities. The list is published annually to provide clear guidance to professionals and to highlight pertinent risks to investors.
Several of the Examination Priorities parallel those of 2019, with expanded emphasis on certain areas of concern. OCIE’s 2020 Examination Priorities are:
WHAT DOES THIS MEAN FOR ME?
If one or more of the above circumstances applies to your firm, you may be more likely to be examined in 2020. OCIE will likely release more in-depth information on the 2020 Examination Priorities in the coming weeks, which will provide further details on who may be examined this year.
Fairview Investment Services provides comprehensive and ongoing compliance services, including onsite examination support. Contact Fairview Investment Services with questions concerning the OCIE examination process or for additional information about the 2020 Examination Priorities.
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